Kent R. Whitney
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kent Ralph Nelson Whitney, who also goes by Kent R Whitney, was a registered financial professional .
Kent is a previously registered financial professional and started their career in finance in 1994. Kent had worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 3, Series 24, Series 28, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2016 - December 8, 2020
DYNAMIC YIELDS CAPITAL MARKET
June 30, 2015 - August 10, 2015
CHRYSALIS CAPITAL GROUP, LLC
February 17, 2012 - July 3, 2013
SUNSTREET SECURITIES, LLC
May 21, 2009 - September 4, 2009
CHICAGO INVESTMENT GROUP, LLC
May 21, 2009 - February 18, 2010
CHICAGO INVESTMENT GROUP, LLC
April 14, 2008 - May 21, 2008
CHICAGO INVESTMENT GROUP, LLC
April 14, 2008 - May 21, 2008
CHICAGO INVESTMENT GROUP, LLC
July 13, 2007 - September 18, 2007
TD AMERITRADE, INC.
July 13, 2007 - September 18, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 13, 2007 - September 18, 2007
TD AMERITRADE, INC.
August 22, 2002 - November 7, 2003
CHOREO, LLC
April 4, 2002 - August 22, 2002
AMERIPRISE ADVISOR SERVICES, INC.
June 14, 2000 - August 14, 2001
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 4, 1994 - April 19, 1996
HAYES, ROGERS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 6/20/2009
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
DYNAMIC YIELDS CAPITAL MARKET
CRD#: 279035 / SEC#: , 8-69653
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
